Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Christopher Dean is a financial advisor with over 25 years of experience in the industry. James has been with Raymond James Financial Services Advisors, Inc. since 2009, and has previously worked at MORGAN STANLEY DW INC. James holds a number of licenses and registrations, including Series 63, 65, 7, 9, 10, and 31. James also holds the SIE designation. James is a registered Investment Advisor Representative in North Carolina and Texas. James provides a range of services to individuals, corporations, and retirement plans, including financial planning, portfolio management, and insurance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
NC
03/23/2024 - Present
Raymond James Financial Services Advisors, Inc. (WILMINGTON NC)
NC
07/23/1997 - 02/13/2006
MORGAN STANLEY DW INC. (WILMINGTON NC)
IA
Issued 08/19/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/30/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/29/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 07/22/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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